- Accession Number:
- Form Type:
- Zero Holdings:
- Publication Time:
- 2016-01-14 17:20:27
- Reporting Period:
- Filing Date:
- Accepted Time:
- 2016-01-14 17:20:27
- SEC Url:
- Form 4 Filing
|Cik||Name||Symbol||Sector (SIC)||IRS No|
|1195116||Arno Therapeutics Inc||ARNI||Pharmaceutical Preparations (2834)||522286452|
|Cik||Name||Reported Address||Insider Title||Director||Officer||Large Shareholder||Other|
|1569782||A Alexander Zukiwski||200 Route 31 North |
Flemington NJ 08822
|Vp & Chief Medical Officer||Yes||Yes||No||No|
Reported Non-Derivative Transactions
|Sec. Name||Acquisiton - Disposition||Date||Amount||Price||Remaning Holdings||Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
|Equity Swap Involved||Form Type||Code||Nature of Ownership||Explanation|
Reported Derivative Holdings
|Sec. Name||Sec. Type||Price||Date||Expiration Date||Amount||Remaning Holdings||Nature of Ownership|
|Common Stock||Stock Option (right to buy)||$2.40||2021-06-22||109,375||109,375||Direct|
|Common Stock||Stock Option (right to buy)||$2.40||2021-06-22||55,736||55,736||Direct|
|Common Stock||Stock Option (right to buy)||$2.40||2023-01-14||36,562||36,562||Direct|
|Common Stock||Stock Option (right to buy)||$2.40||2023-01-14||12,187||12,187||Direct|
|Common Stock||Stock Option (right to buy)||$2.40||2023-11-04||316,389||316,389||Direct|
|Common Stock||Stock Option (right to buy)||$2.90||2024-01-24||711,301||711,301||Direct|
|Common Stock||2012 Series A Warrants (right to buy)||$1.36||2012-11-26||2017-11-26||183,822||183,822||Direct|
|Common Stock||2013 Series D Warrants (right to buy)||$2.14||2013-10-29||2018-10-29||77,880||77,880||Direct|
|Expiration Date||Amount||Remaning Holdings||Nature of Ownership|
- On January 12, 2016, the Reporting Person was issued 144,806 shares upon the automatic conversion of $50,682.19 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to the Reporting Person by the Issuer on October 21, 2015.
- Currently exercisable.
- On 6/22/2011, the Reporting Person was granted an option to purchase up to 109,375 shares of common stock of the Issuer. Up to 1/3 of the shares subject to the option may vest annually (or a pro rata portion thereof for a period of less than a full year) based on the achievement of cerain performance milestones as determined by the Board of Directors (the 'Board') of the Issuer. On 1/17/2012, the Board determined that options for the prorated period ending 12/31/2011 would vest in the maximum potential amount of 19,278 shares. On 1/14/2013, the Board determined that options for the period ending 12/31/2012 would vest in the maximum potential amount of 36,458 shares.
- Vests in equal 36-monthly installments commencing 12/4/13.
- On 1/14/13, the Reporting Person was granted an option to purchase up to 36,562 shares of common stock of the Issuer. 1/3 of the shares subject to the option were immediately vested and up to 1/2 of the remaining shares subject to the option may vest annually, based on the achievement of certain performance milestones as determined by the Board.
- Vests 25% on first anniversary date and thereafter will vest in 24 equal monthly installments.
- As a result of the Issuer's 1/12/16 private placement of common stock at $0.35/share, the exercise price and number of shares subject to the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected, pursuant to anti-dilution adjustment provisions.